Tech It Up SEC Marketing Rules: Insights from an SEC Expert
Jul 27, 2023
The podcast discusses the recent SEC marketing rules for investment management firms, including changes to hypothetical performance. It emphasizes the importance of disclosing risks and assumptions, presenting both gross and net performance, and avoiding misleading language. Best practices for marketing hypothetical performance and case studies are also provided.
Chapters
Transcript
Episode notes
1 2 3 4 5
Introduction
00:00 • 2min
Understanding the Fundamental Changes in SEC Marketing Rules
02:17 • 2min
Discussion on Hypothetical Performance and the New Rule
03:49 • 2min
Changes in SEC Marketing Rules
05:36 • 11min
Best Practices for Marketing Hypothetical Performance and Case Studies
16:41 • 4min